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16 Oct 2010, 5:07 am
In today's post, I'll answer the second question first: do you need an lawyer? [read post]
27 Jul 2020, 7:08 pm
The post FINRA Bars Stockbrokers For Failing To Provide FINRA With Information July 2020 appeared first on Securities Arbitration Lawyers Blog. [read post]
19 May 2017, 7:25 am
Meadlin (“Meadlin”), an investment adviser, and Hyaline Capital Management, LLC (“Hyaline”), his advisory firm. [read post]
21 Apr 2021, 6:33 am
The post FINRA Bars Broker Christopher Black After Secret Loan From Customer appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Aug 2014, 5:00 am
First, the Supreme Court has held that the anti-waiver provision of the Exchange Act does not apply to “procedural provisions,” including compulsory arbitration. [read post]
21 Feb 2018, 10:42 am
The post Matt Neas and Newbridge Securities – Investigation appeared first on White Securities Law. [read post]
19 Jun 2018, 8:41 am
The post Colorado Advisor Dennis Farrah Barred from Securities Industry appeared first on White Securities Law. [read post]
14 Jul 2017, 8:23 am
The post CION Investment Corporation Securities Fraud Investigation appeared first on White Securities Law. [read post]
26 Mar 2019, 12:50 pm
According to a press announcement this week, the Securities and Exchange Commission has reportedly charged registered investment adviser Direct Lending Investments LLC with a multi-year alleged fraud that purportedly resulted in approximately $11 million in over-charges of management and performance fees to its private placement funds, as well as the inflation of the private funds’ returns. [read post]
12 Dec 2018, 1:05 pm
The post Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Scheme appeared first on Securities Fraud Attorney. [read post]
7 Jul 2017, 8:12 am
According to their website, NorthStar Securities, LLC is the broker-dealer affiliate of Colony NorthStar, Inc. [read post]
23 Oct 2019, 1:27 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
30 May 2024, 7:28 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
19 Dec 2018, 3:30 am
As recently reported, both the SEC and FINRA have commenced their own investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
7 Feb 2023, 6:12 am
N.J.S.A. 42:2C-68 provides that: A member may maintain a derivative action to enforce a right of a limited liability company if: the member first makes a demand on the other members in a member-managed limited liability company, or the managers of a manager-managed limited liability company, requesting that they cause the company to bring an action to enforce the right, and the managers or other members do not bring the action within a… [read post]
8 Jul 2019, 8:08 am
Following the now famous €50m fine imposed on Google LLC in January 2019,[1] the French Data Protection Authority (the CNIL) published a decision taken on 28 May 2019[2] imposing a fine of €400,000 on SERGIC, a company specialised in real estate development, purchase, sale, rental and property management. [read post]
18 Feb 2019, 2:34 pm
John Reed Stark In a February 14, 2019 order, Southern District of California Judge Gonzalo Curiel entered an order reversing his earlier decision on the same issue and concluding that the digital tokens offered by cryptocurrency company Blockvest LLC represented “securities” within the meaning of the federal securities laws. [read post]
3 Oct 2010, 5:00 am
Partners, LLC v. [read post]
31 Oct 2017, 2:07 pm
On October 24, 2017, the New Jersey Bureau of Securities (the “Bureau”) entered into a Consent Order (“Order”) with Boston-based brokerage firm LPL Financial, LLC (CRD# 6413) (“LPL”), in connection with LPL’s sales of certain non-traded investment products to residents of New Jersey. [read post]
7 Feb 2012, 9:28 am
FMR LLC, No. 10-2240, The panel stated that it interpreted the statute differently and reversed the district court's decision. [read post]
